Investment Advisers Act
The Investment Advisers Act is a longstanding rule for all registered financial advisers in the U.S. But even 84 years later – in 2024 – the Securities and Exchange Commission (SEC) brought settlements against two registered advisers for failing to establish, maintain, and enforce written procedures under the Investment Advisers Act.
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Fairness Opinions
How do you know when you’re receiving good value? In the supermarket, you might be comparing prices per 100g or unit. But in the world of mergers and acquisitions, with many uncertain variables in play, it’s sometimes harder to determine.
Regulatory Compliance
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